DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Northwest Financial Advisors LLC
Latest filing Mar 30, 2026
First filing on the tape Apr 19, 2013 · 30 filings
SEC status approved since Jun 3, 2013
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$1.2B individuals and HNW
Advisors
21
registered through the firm on IAPD
RAUM per advisor
$59.2M
derived; firm RAUM over IAPD count
Employees
37
31 advisory (5.B.1)
Offices
11
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.2B as of Mar 30, 2026
Mar 25, 2014$650M then
HNW client RAUM$656M as of Mar 30, 2026
Mar 12, 2018$154M then
State-registered IARs (5.B.3)17 as of Mar 30, 2026
Mar 25, 20149 then
Employees (5.A)37 as of Mar 30, 2026
Mar 25, 201416 then
Private funds: no history
RAUM -35% over the last fiscal year-4.0% a year over threeIARs 26 to 17
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $59.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $451,372derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.8derived12 offices incl. principal (1.F.5)
- RAUM growth, one year
- -35%derivedbetween the last two annual amendments
- Advisor growth, one year
- -35%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -26%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- Wrap fee program
- $135MreportedItem 5.I
- Custody
- $29.9M, 45 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$656M53%
- Individuals$556M45%
- Corporations and businesses$26.6M2.1%
- Charitable organizations$3.4M0.3%
- Pension and profit-sharing plans$2.2M0.2%
- Individual clients
- 1,582reported
- HNW clients
- 326reported
- Pension plan clients
- 1reported
- Charitable clients
- 4reported
- Accounts
- 2,756reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $29.9M for 45 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=20.0derived
Advisors registered through the firm
21 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Thomas K. TurnerCertified Financial Planner | Vienna, Va | Aug 20, 2013 | 34 y | 2 |
| Gregory Emmett Grinnell | Herndon, Va | Aug 20, 2013 | 19 y | 0 |
| Kevin Duane Fisher | Herndon, Va | Nov 26, 2013 | 28 y | 1 |
| Jonathan Keith AdamsChartered Financial Consultant | Herndon, Va | Apr 28, 2014 | 33 y | 1 |
| Jerry Edward GuidoCertified Financial Planner | Herndon, Va | Oct 7, 2015 | 18 y | 4 |
| Nicole Evette Davis | Herndon, Va | Jun 22, 2016 | 11 y | 0 |
| Richard Todd Holden | Herndon, Va | Sep 23, 2016 | 28 y | 3 |
| Kimberly Joan Lampropoulos | Herndon, Va | Apr 18, 2019 | 10 y | 0 |
| Deatrice Johnson | Herndon, Va | Oct 30, 2020 | 17 y | 0 |
| Nikyla Nikki YoungCertified Financial Planner | Herndon, Va | Nov 30, 2020 | 10 y | 0 |
| Neetu Kohli | Herndon, Va | Jun 17, 2021 | 18 y | 3 |
| Joseph Carl Wilson | Herndon, Va | Feb 10, 2023 | 10 y | 1 |
| Nakia D Brown | Herndon, Va | Feb 13, 2023 | 12 y | 1 |
| Nicholas David TupajCertified Financial Planner | Herndon, Va | Jan 24, 2025 | 10 y | 0 |
| Janna Vloet | Herndon, Va | May 28, 2025 | 12 y | 1 |
| Jozsef Nandor Szadvari III | Herndon, Va | Aug 7, 2025 | 18 y | 5 |
| Jiashuo QinCertified Financial Planner | Herndon, Va | Aug 8, 2025 | 10 y | 4 |
| Barry Steven BassCertified Financial Planner, Chartered Financial Consultant | Herndon, Va | Nov 26, 2025 | 21 y | 2 |
| Nathan Russell Levin | Herndon, Va | Apr 20, 2026 | 13 y | 0 |
| Denise Sharnell ProctorCertified Financial Planner | Herndon, Va | Jun 18, 2026 | 19 y | 1 |
| Kelly Marie Demers | Herndon, Va | Sep 3, 2026 | 10 y | 1 |
Advisor movement
2 left, 3 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 9.5% of current headcount12 left over 36 months
Left, latest
- James T. Christy to RBC Capital Markets, LLCOct 7, 2025 · RIA to affiliated broker-dealer or bank
- Jennifer Bottomley to RBC Capital Markets, LLCOct 7, 2025 · RIA to affiliated broker-dealer or bank
- Scott Thomas Aune to Raymond James Financial Services Advisors, IncJul 30, 2025 · RIA to affiliated broker-dealer or bank
- Jodi Danielle Van Voorhis to Equitable Advisors, LLCJun 25, 2025 · RIA to affiliated broker-dealer or bank
- Shreeva Aylor to Navy Federal Investment Services, LLCJun 10, 2025 · RIA to affiliated broker-dealer or bank
- Garrett Timothy Boyd to Raymond James Financial Services Advisors, IncMay 14, 2025 · RIA to affiliated broker-dealer or bank
- Brian Lee Cooper to Raymond James Financial Services Advisors, IncMay 14, 2025 · RIA to affiliated broker-dealer or bank
- Julie Anne Gleason to Raymond James Financial Services Advisors, IncMay 13, 2025 · RIA to affiliated broker-dealer or bank
- Glen Matthew Cesari to Raymond James Financial Services Advisors, IncMay 9, 2025 · RIA to affiliated broker-dealer or bank
- Justin L Valadez to LPL Financial LLCMay 9, 2025 · Other
- Alicia Genise Fouser to Navy Federal Investment Services, LLCMar 20, 2025 · RIA to affiliated broker-dealer or bank
- Biswojit Rebeiro to Wesbanco Securities, Inc.Feb 25, 2025 · RIA to affiliated broker-dealer or bank
- Rafael Antonio Gutierrez to Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 27, 2023 · RIA to wirehouse
- Victoria Ross to LPL Financial LLCSep 20, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- Kelly Marie Demers from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 3, 2026 · Wirehouse to independent RIA
- Denise Sharnell Proctor from M&T Securities, Inc.Jun 18, 2026 · Other
- Barry Steven Bass from Raymond James Financial Services Advisors, IncNov 26, 2025 · Affiliated broker-dealer or bank to independent RIA
- Jiashuo Qin from Wells Fargo AdvisorsAug 8, 2025 · Wirehouse to independent RIA
- Jozsef Nandor Szadvari III from Pnc Wealth ManagementAug 7, 2025 · Affiliated broker-dealer or bank to independent RIA
- Janna Vloet from Edward JonesMay 28, 2025 · Affiliated broker-dealer or bank to independent RIA
- Biswojit Rebeiro from Edward JonesFeb 10, 2025 · Affiliated broker-dealer or bank to independent RIA
- Julie Anne Gleason from Ameriprise Financial Services, LLCFeb 1, 2024 · Affiliated broker-dealer or bank to independent RIA
- Shreeva Aylor from LPL Financial LLCNov 2, 2023 · Affiliated broker-dealer or bank to independent RIA
- Nakia D Brown from Morgan StanleyFeb 13, 2023 · Wirehouse to independent RIA
- Joseph Carl Wilson from Fidelity Personal And Workplace AdvisorsFeb 10, 2023 · Affiliated broker-dealer or bank to independent RIA
- Garrett Timothy Boyd from Amundi Asset Management US, Inc.Sep 20, 2022 · Other
- Rafael Antonio Gutierrez from LPL Financial LLCAug 6, 2021 · Affiliated broker-dealer or bank to independent RIA
- Neetu Kohli from Wells Fargo AdvisorsJun 17, 2021 · Wirehouse to independent RIA
- Jodi Danielle Van Voorhis from Eagle Strategies LLCDec 3, 2020 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for RBC Capital Markets, LLCOct 7, 2025 · Herndon, Va
- 4 left for Raymond James Financial Services Advisors, IncMay 9, 2025 · Herndon, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ann Karen Benedict · Senior Vice Presidentcontrolsince 02/2014 · owns less than 5%
- Evette Nicole Davis · Chief Compliance Officercontrolsince 03/2016 · owns less than 5%
- Duane Kevin Fisher · Ceo/Executive Repcontrolsince 02/2013 · owns less than 5%
Entity owners
- Nw Capital Management LLC · Memberdirect · owns 75% or more
- Northwest Federal Credit Union · Memberindirect · owns 75% or more of Nw Capital Management LLC
Related persons
Schedule D 7.A
- Northwest Federal Credit Uniony
- Northwest Financial Group LLCbroker-dealern
- Nw Insurance Agency LLCreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Herndon, Va · principal | 21 | 4 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Arlington, VA2 employees
- Manassas, VA1 employees
- Vienna, VA1 employees
- Chantilly, VA1 employees
- Gainesville, VA1 employees
- Rockville, MD1 employees
- Middleburg, VA1 employees
- Sterling, VA1 employees
- Ashburn, VA1 employees
- Leesburg, VA1 employees
- Mclean, VA1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Mar 30, 2026advisory representatives (Item 5.B.3) moved from 26.0 to 17.0 (-35.0%) between the annual amendments of 2025-03-19 and 2026-03-30; the peer median change was 0.0% (999 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $1B to $5B (999) · 1.3% percentile
- business activity changedChange between filings · filing Mar 30, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-03-19, no on the filing of 2026-03-30peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 30, 2026FISHER, KEVIN, DUANE (CEO/EXECUTIVE REP) left Schedule A between the filings of 2016-03-30 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 30, 2026BENEDICT, KAREN, ANN (SENIOR VICE PRESIDENT) left Schedule A between the filings of 2016-03-30 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,360)
- RAUM down 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $1,924,736,060 to $1,243,981,468 (-35.0%) between the annual amendments of 2025-03-19 and 2026-03-30; the peer median change was +17.0% (1297 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,297) · 0.3% percentile
What changed
consecutive filings, newest first
- Accounts · 3,896 to 2,756Mar 19, 2025 to Mar 30, 2026
- Advisory employees · 35 to 31Mar 19, 2025 to Mar 30, 2026
- Advisory activities · 6 to 5Mar 19, 2025 to Mar 30, 2026
- BD registered reps · 31 to 20Mar 19, 2025 to Mar 30, 2026
- Charity clients · 5 to 4Mar 19, 2025 to Mar 30, 2026
- Corporate clients · 3 to 2Mar 19, 2025 to Mar 30, 2026
- HNW clients · 499 to 326Mar 19, 2025 to Mar 30, 2026
- Individual clients · 2,067 to 1,582Mar 19, 2025 to Mar 30, 2026
- Pension plan clients · 9 to 1Mar 19, 2025 to Mar 30, 2026
- Assets in custody · $65.0M to $29.9MMar 19, 2025 to Mar 30, 2026
- Employees · 41 to 37Mar 19, 2025 to Mar 30, 2026
- State-registered IARs · 26 to 17Mar 19, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.9B to $1.2BMar 19, 2025 to Mar 30, 2026
- HNW RAUM · $1.1B to $656MMar 19, 2025 to Mar 30, 2026
- Individual RAUM · $783M to $556MMar 19, 2025 to Mar 30, 2026
- Pension RAUM · $22.0M to $2.2MMar 19, 2025 to Mar 30, 2026
- RAUM · $1.9B to $1.2BMar 19, 2025 to Mar 30, 2026
- Accounts · 3,658 to 3,896Mar 12, 2024 to Mar 19, 2025
- Advisory employees · 33 to 35Mar 12, 2024 to Mar 19, 2025
- BD registered reps · 30 to 31Mar 12, 2024 to Mar 19, 2025
- Corporate clients · 4 to 3Mar 12, 2024 to Mar 19, 2025
- HNW clients · 411 to 499Mar 12, 2024 to Mar 19, 2025
- Individual clients · 2,080 to 2,067Mar 12, 2024 to Mar 19, 2025
- Assets in custody · $53.7M to $65.0MMar 12, 2024 to Mar 19, 2025
- Employees · 37 to 41Mar 12, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 1-10Mar 12, 2024 to Mar 19, 2025
- State-registered IARs · 29 to 26Mar 12, 2024 to Mar 19, 2025
- Discretionary RAUM · $1.7B to $1.9BMar 12, 2024 to Mar 19, 2025
- HNW RAUM · $839M to $1.1BMar 12, 2024 to Mar 19, 2025
- Individual RAUM · $774M to $783MMar 12, 2024 to Mar 19, 2025
- Pension RAUM · $18.5M to $22.0MMar 12, 2024 to Mar 19, 2025
- RAUM · $1.7B to $1.9BMar 12, 2024 to Mar 19, 2025
- Accounts · 3,489 to 3,658Mar 27, 2023 to Mar 12, 2024
- Advisory employees · 27 to 33Mar 27, 2023 to Mar 12, 2024
- BD registered reps · 27 to 30Mar 27, 2023 to Mar 12, 2024
- Corporate clients · 3 to 4Mar 27, 2023 to Mar 12, 2024
- HNW clients · 375 to 411Mar 27, 2023 to Mar 12, 2024
- Individual clients · 2,046 to 2,080Mar 27, 2023 to Mar 12, 2024
- Pension plan clients · 8 to 9Mar 27, 2023 to Mar 12, 2024
- Assets in custody · $46.2M to $53.7MMar 27, 2023 to Mar 12, 2024
Signals
19 dated events
- Northwest Financial Advisors Llc reported RAUM $1.2B, down 35% from $1.9B (2025-03-19 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- James T. Christy left Northwest Financial Advisors Llc for Rbc Capital Markets, Llc (registered 2025-10-02)Oct 7, 2025 · Advisor changed firm · fact
- Jennifer Bottomley left Northwest Financial Advisors Llc for Rbc Capital Markets, Llc (registered 2025-10-03)Oct 7, 2025 · Advisor changed firm · fact
- 2 advisors left Northwest Financial Advisors LLC (Herndon, VA) for RBC Capital Markets, LLC on the same dayOct 7, 2025 · Team lift-out · derived
- Scott Thomas Aune left Northwest Financial Advisors Llc for Raymond James Financial Services Advisors, Inc (registered 2026-07-27)Jul 30, 2025 · Advisor changed firm · fact
- Jodi Danielle Van Voorhis left Northwest Financial Advisors Llc for Equitable Advisors, Llc (registered 2025-09-25)Jun 25, 2025 · Advisor changed firm · fact
- Shreeva Aylor left Northwest Financial Advisors Llc for Navy Federal Investment Services, Llc (registered 2025-06-09)Jun 10, 2025 · Advisor changed firm · fact
- Garrett Timothy Boyd left Northwest Financial Advisors Llc for Raymond James Financial Services Advisors, Inc (registered 2025-05-01)May 14, 2025 · Advisor changed firm · fact
- Brian Lee Cooper left Northwest Financial Advisors Llc for Raymond James Financial Services Advisors, Inc (registered 2025-08-05)May 14, 2025 · Advisor changed firm · fact
- Julie Anne Gleason left Northwest Financial Advisors Llc for Raymond James Financial Services Advisors, Inc (registered 2025-05-01)May 13, 2025 · Advisor changed firm · fact
- Justin L Valadez left Northwest Financial Advisors Llc for Lpl Financial Llc (registered 2015-09-18)May 9, 2025 · Advisor changed firm · fact
- Glen Matthew Cesari left Northwest Financial Advisors Llc for Raymond James Financial Services Advisors, Inc (registered 2025-05-01)May 9, 2025 · Advisor changed firm · fact
- 4 advisors left Northwest Financial Advisors LLC (Herndon, VA) for Raymond James Financial Services Advisors, Inc within 5 daysMay 9, 2025 · Team lift-out · derived
- Alicia Genise Fouser left Northwest Financial Advisors Llc for Navy Federal Investment Services, Llc (registered 2025-06-11)Mar 20, 2025 · Advisor changed firm · fact
- Biswojit Rebeiro left Northwest Financial Advisors Llc for Wesbanco Securities, Inc. (registered 2025-05-13)Feb 25, 2025 · Advisor changed firm · fact
- Rafael Antonio Gutierrez left Northwest Financial Advisors Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-04-11)Mar 27, 2023 · Advisor changed firm · fact
- Victoria Ross left Northwest Financial Advisors Llc for Lpl Financial Llc (registered 2021-04-07)Sep 20, 2022 · Advisor changed firm · fact
- Northwest Financial Advisors Llc reported RAUM $1.3B, up 28% from $983.9M (2019-03-22 to 2020-03-02)Mar 2, 2020 · RAUM change · derived
- Northwest Financial Advisors Llc filed its initial SEC registration (Form ADV)Apr 19, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 703-828-0747reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/nwfareportedpublic record, Form ADV, Sep 17, 2026
- Website
- nyoung.nwfllc.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 703-810-1072reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $59.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026